Note: This article is only applicable to Compliance users.
This guide provides Compliance Admin users with instructions on how to navigate and review subscriber compliance cases effectively.
This article covers:
Navigating Submission Review Pages
When a subscriber submits content for compliance review, it will appear in your Compliance Admin dashboard under the "Subscriber Cases" section.
The submissions are categorized as follows:
- Emails: Custom emails created and "Published" in an advisor dashboard appear here.
- Email Sequences: A series of emails scheduled to be sent over a period of time and have been "Published" by a user.
- Greeting Cards: Physical, mailed-out cards scheduled to be sent appear here.
- Profile Info: Changes made to the profile information section in the advisor dashboard. This includes disclosures, contact information, logos, portrait images, and social media URLs. Additionally, Social Media integration cases will appear in this section.
- Social Posts: Custom social media posts submitted by users can be found here. NOTE: This is only available if your organization has elected to turn on the social review setting.
- Social Sequences: Social Sequences are a series of social posts "Published" by a user. These submissions are located here.
- Note: This is only available if your organization has elected to turn on the social review setting.
- Websites (Changes): Changes made to the website after the initial build is approved are listed here.
- Websites (New): Newly built website submissions appear here. These still need approval of the Profile Information section.
- Groups
To review submissions, select the appropriate category to open the Submissions Review page. On this page, you'll find the following information on each submission:
- Subscriber: The account that submitted the case.
- Cases: The number of cases submitted by an advisor. Click the number to view individual cases and select "Review" to examine each one.
- Submission Type: The content type of the submission. Note: The submission type will only appear on the “All Submissions” page.
- Submitted (Age): The submission date and how long it has been in the queue.
- Queue: The name of the compliance queue.
- Review: Open the details of the submission.
Reviewing a Compliance Case
To review a submission, click the "Review" button next to the compliance case.
This will take you to the Compliance Case page where you can open the submission for review. You may see red strikethroughs or green highlights indicating removed or added content. Flagged words will appear in red or yellow.
Available options on this page include:
- Preview: View how the change will appear on a website or as an email/social post.
- Edit: Make changes to the submitted case. This action impersonates the advisor, and any edits must be re-submitted for compliance approval.
- Download: Download a PDF of the compliance case. This option is only available for email submissions.
- Case Notes: Add notes for other compliance officers or for all parties, including the advisor. Select "Compliance" for notes visible only to compliance officers, or "Everyone" for wider visibility.
- Case History: Review all related cases, including approved, rejected, and notes.
- Tags: View the tags that are used to categorize and organize the content piece.
- Approve, Reject, or Skip: To take action on a case, use the "Approve," "Reject," or "Skip" buttons at the top right. Rejecting a case requires a note for the advisor.